Initiate a project

The first step in any project management process is to develop and confirm project initiation procedures. 

Procedures may define how to:

• obtain approval to start work
• source the necessary funds 
• recruit a project manager
• establish quality, time, and cost expectations.

Alternatively, procedures may apply to any one of the Project Management Body of Knowledge (PMBOK) functions of project management. These functions apply to integration, scope, time, cost, quality, human resources, communication, risk, procurement, and stakeholder management.

The integration function ensures that the various parts of the project are properly coordinated. The scope function defines and maintains what is and isn’t part of the project. The time function ensures that the project is completed on schedule. The cost function tracks expenses and keeps costs under control. The quality function aims to produce a product or service that meets requirements. The human resource function assembles a team and manages their work. The communication function ensures everyone is kept up to date on project progress. The risk function identifies potential problems and develops strategies to mitigate them. The procurement function acquires goods and services needed for the project.

If the business doesn't have relevant policies or procedures, you'll need to develop them yourself. 

Use the following steps to develop a procedure:

1. Define the goal of the procedure. What are you trying to achieve or explain?
2. List the resources you'll need to achieve the desired outcome.
3. Draft a preliminary outline of the steps involved to achieve your goal.
4. Consult with others about the requirements if necessary.
5. Assign responsibility for each step to specific individuals or teams.
6. Obtain approval from a supervisor or manager to publish the procedure.

Watch the video next to learn more.

To confirm procedural availability, ask a supervisor or manager if there are any established steps to start the project lifecycle. Alternatively, analyse existing paperwork and look for reference to project management requirements.

Consider the project life cycle and the significance of scope management

The project lifecycle has five distinct phases.

The phases are:

1. Initiation.
2. Planning.
3. Execution.
4. Monitoring and control.
5. Closure. 

Specific tasks in each phase must be completed for the project to be successful. 

The next image shows how the stages are related.

In the initiation phase, the project manager must develop and confirm procedures, undertake project authorisation activities, and meet with stakeholders.

In the planning stage, the project manager must write a project statement, specify the project boundaries, and clarify the Work Breakdown Structure (WBS).

In the execution phase, the project manager must implement the agreed procedures, manage scope changes, and collaborate with others.

In the monitoring and control phase, the project manager must measure performance against the scope, determine variances, decide if corrective action is needed, and update the paperwork, and evaluate the impact.

In the closing phase, the project manager must obtain confirmation the project deliverables were met within the agreed deadlines.

Identify formal change control processes

Project management stages can vary depending on the type of change control process.

Examples of change control processes and links to descriptions appear next.

1. Agile
2. Lean
3. PRINCE2

When initiating any project, it's important to ensure all necessary permissions are obtained before starting work. 

To obtain permission:

1. Gather information from stakeholders. This includes detail about the purpose of the project, governance arrangements, and completion schedules.
2. Research the appropriate person or department to contact for permission. Every organisation has different protocols for obtaining approval for projects. Some may require a proposal or presentation to be given before work can commence, while others may only need an email or phone call.
3. Contact the appropriate person/ department and outline the project and its purpose. 
4. Obtain verbal permission from the person or department you are contacting. 
5. Schedule a meeting with the appropriate people to present the project and have them sign off on it before work begins. 
6. Obtain written permission from the appropriate people once work has begun.

The type of authorising document can vary depending on the organisation. Authorities to commence work may be as simple as a purchase order, letter, email, or employment contract. Larger organisations may develop a project charter to define agreed terms and conditions.

Authority to spend money or to expend resources may be included in a project charter.

Produce a project charter

The project charter should result from a business needs analysis that identifies project deliverables or current problems. A problem statement outlines reasons behind the project and the cost of doing nothing. The project charter formally authorises a project and gives direction to the management team. It names the project manager, defines their authority, and allows them to use organisational resources for the project. The charter can also help executives throughout the organisation to understand the project's business values and potential benefits and how these align with business objectives. 

Regarding cost, if there's a budget section included, identify the spending limit but keep in mind that a more complex budget and request for expenditure will be required in phase two.

Watch the video to learn more about estimating project expenses.

The sponsor or project owner may involve the potential project manager or team members in developing the charter if specialist knowledge is needed or the sponsor lacks relevant skills. Relevant directors or executives should sign the charter in recognition of a formal agreement that funds will be made available.

Find out more about project charters here and here.

Read an example called a project authorisation. As you can see, it has some components of the project charter and some that are like a project statement.

Additional approvals may be required after the planning stage.

Other document types can be used for project initiation, depending on the needs of your specific project.

One common type of project initiation document is a requirements document. This document outlines specific requirements for the project, including business and functional requirements, as well as technical requirements. Other common document types include a project plan, a communication plan, and a risk assessment.

It's important to tailor the project initiation documents to fit your specific project. However, most projects will benefit from having at least some form of written documentation outlining the goals and objectives of the project as defined by stakeholders.

When starting a project, it's important to establish what the benefits, outcomes, and outputs will be.

There are four main categories of stakeholders: 

• Individuals or groups who will be directly affected by the project outcome. 
• Individuals or groups with an indirect interest in the project outcome. 
• Individuals or groups who have the power to influence the success of the project.
• Individuals or groups who will monitor and judge the success of the project.

Some common examples include employees who’ll be affected by changes in their work processes, shareholders who are impacted by financial results, customers who may be impacted by changes in service or product offerings, and government agencies that may be involved in approvals or regulatory oversight.

Some additional examples appear next.

Stakeholder consultation ensures that everyone is on the same page and knows what to expect. Having a clear understanding of these items also allows for better project management and can help to avoid any misunderstandings or conflicts.

In the initiation phase, meet with stakeholders to identify communication requirements and negotiate the required project outcomes.

Watch the video next to learn about negotiating with stakeholders.

In project management, inputs (like human resources, for example) are used to carry out project activities. Activities lead to services or products delivered (outputs). The outputs then bring about change (outcomes), and eventually, this will impact (benefit) stakeholders.

Read an article about project inputs, outcomes, outputs and impacts.

To establish measurable inputs, outputs, outcomes, and impacts, talk about project expectations with stakeholders.

Measurable inputs are the resources that are put into the project - for example, time, funding, and human resources. Measurable outputs are the results of the project - for example, number of new jobs created or amount of money saved. Measurable outcomes are what the project is intended to achieve - for example, increased profits or reduced emissions. Finally, measurable impacts are the unintended consequences of the project - for example, increased traffic congestion or a decrease in biodiversity.

Establish a shared understanding by encouraging discussion about quantitative and qualitative measurements.

Read more about quantitative and qualitative measures.

Once these measures have been established, it is important to track them throughout the life of the project. 

Communicate effectively

If expectations haven’t been established, ask stakeholders to describe their desired changes. 

If stakeholders disagree, actively negotiate, and facilitate agreement by following the steps next:

• ask each person what they want to achieve
• encourage stakeholders to rank their project goals in order of importance
• highlight similarities in project goals
• identify unrealistic outcomes
• determine whether any of the outcomes could be facilitated at another time or via another project
• consider budget limitations and remove unaffordable goals.

An agreement may be facilitated by highlighting potential benefits and returns on investment.

Note: Tangible benefits are physical outputs of the project, such as a new product or a renovated building. Intangible benefits are not physical, but they are real and important nonetheless, such as improved customer service or increased efficiency.

During stakeholder discussions, use clear language and appropriate non-verbal features like nodding to confirm agreement and eye contact where appropriate to indicate interest. 

Watch the video to learn more about the importance of non-verbal communication.

Conventions and protocols may vary depending on stakeholder requirements. Follow the communication plan to ensure your approach is suitable. 

An excerpt of a communication plan appears next.

Stakeholder	Sponsor
Key issues	Often travels/ may not reply immediately, has agreed to a 48-hour turn-around
Communication preferences	Written, Zoom with prior invite only
Content, format, level of detail	Budget/ spending approvals, milestone reports, summary only in digital format

If communication preferences are unknown, discuss the options prior to the planning stage. 

Identify roles and responsibilities

According to the PMBOK Guide, a stakeholder is an individual, group, or organisation that may affect, be affected by, or perceive itself to be affected by a decision, activity, or outcome of a project.

Other project roles and responsibilities are included next.

Project manager    

• Negotiate roles and responsibilities.
• Measure and verify project scope.
• Facilitate scope change requests.
• Facilitate impact assessments of scope change requests.
• Organise and facilitate scheduled change control meetings.
• Communicate outcomes of scope change requests.
• Update project documents upon approval of all scope changes.

Manager/supervisor    

• Measure and verify project scope.
• Validate scope change requests.
• Participate in impact assessments of scope change requests.
• Communicate outcomes of scope change requests to the team.
• Facilitate team-level change review process.

Team members    

• Participate in defining change resolutions.
• Evaluate the need for scope changes and communicate them to the project manager as necessary.

Clients/customers    

• Provide feedback about implementation and suggestions to improve .

Note: In the context of project planning, project manager roles and responsibilities may be limited to preparing a scope management plan, writing a project statement, specifying the project boundaries, and clarifying the Work Breakdown Structure (WBS), however, planning may occur throughout all stages of the project lifecycle.

In relation to each one of the PMBOK functions of project management, project managers have additional responsibilities.

Typical requirements aligned with each of the ten stages appear next.

1. Integration: The project manager develops the project plan, integrates all functions of the project, manages project conflict, and closes the project once complete.
2. Scope: The project manager develops the scope management plan and manages scope creep. 
3. Time: The project manager manages timeframes, sequences tasks, and ensures deadlines are met.
4. Cost: The project manager manages the project budget.
5. Quality: The project manager manages quality standards, quality assurance and quality control processes.
6. Human resources: The project manager recruits staff for the project and manages the project team.
7. Communication: The project manager reports to the project sponsor and senior managers, communicates task and quality requirements to the project team and communicates task and quality requirements to external contractors.
8. Risk: The project manager manages project risk, monitors the project, and implements strategies to address project issues before they become problematic. All projects are subject to external risks and environmental factors. World events, changes in the economy, politics, and trading relationships with other countries may result in scope changes.
9. Procurement: The project manager manages project contracts and ensures resources are available to reach each milestone.
10. Stakeholders: The project manages project stakeholders and reports outcomes according to the communication plan.

Confirm project governance arrangements

Governance of a project is the management of how it is run. The project governance arrangements need to be confirmed at the outset of the project and should be revisited as the project progresses.

Confirm arrangements by meeting with stakeholders and developing a register.

The purpose of a stakeholder register is to document who the stakeholders are, their roles and interests, and how they might be affected by the project. The format of the register may vary, but it should include names or titles, contact information, roles in the project, interests in the project, and information about how each person might be affected.

A simple example appears next.

Name	Position	Contact	Role/responsibilities
Chen Lu	Sponsor	3224 98xx	Approve or deny scope change requests as appropriate Evaluate the need for scope change requests Accept project deliverables

Another example appears next.

Stakeholder Register
Project name:					Date:
Stakeholder name	Role	Group (internal/external)	Type	Group	Influence/interest	Address
Brian	Client	External	Positive	Sponsor	High power/ high interest	New York

Additional or more complex detail may be included depending on the project size and intended readers.

Read an article about stakeholder registers.